Category: FINRA Discipline
October 2021 FINRA Disciplinary Actions
COURTNEY MICHELLE KAPLAN (CRD #5249375, PALM HARBOR, FLORIDA) September 30,…
FINRA Disciplinary Actions June 2021
WILLIAM EDWARDS ELLIS (CRD #6770635, WESTLAKE, TEXAS) May 25, 2021…
Raymond Alagao Velasco, Sr. | FINRA Disciplinary Action
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT…
Jason V. McHenry | FINRA Disciplinary Action
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT…
Candice E. Montie | FINRA Disciplinary Action
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT…
Ignacio Erhart Del Campo | FINRA Disciplinary Action
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT…
Jiacheng Zhou | FINRA Disciplinary Action
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT…
Gordon Bryan | FINRA Disciplinary Action
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT…
Merrill Lynch, Pierce, Fenner & Smith Incorporated | FINRA Disciplinary Action
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT…
Colin Woolford | FINRA Disciplinary Action
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT…
FINRA Disciplinary Actions March 2021
BYRON PAT TREAT (CRD #1466393, AMARILLO, TEXAS) February26, 2021 –…
American Independent Securities Group, LLC, Ryan Carlson, Nicholas Cioffi | FINRA Disciplinary Action
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT…
Herbert G. Frey | FINRA Disciplinary Action
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT…
J.W. Cole Financial, Inc. | FINRA Disciplinary Action
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT…
Securities America, Inc. | FINRA Disciplinary Action
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT…
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